Mercury
Overview
Mercury is hiring a Compliance leader to scale our licensed activity and deepen engagement with regulators. In this role, you’ll lead our Securities Compliance team, overseeing our RIA and Broker-Dealer compliance programs, guiding strategy for future licensing needs, and designing governance structures to ensure Mercury’s role in the financial system remains trusted and resilient. You’ll work with product and legal teams to turn regulatory obligations into durable infrastructure while maintaining clarity in a fast-moving space. Responsibilities
Mature our foundational program to manage all of Mercury’s direct regulatory and license obligations, and continually assess our compliance posture in advance of new licensing needs Supervise employees working on investment-related product offerings and ensure compliance across regulated entities (e.g. RIA, Broker-Dealer, Loan Brokering, Loan Servicing) Manage examinations/audits (internal and external) or other regulatory inquiries related to licensed activity, including serving as primary point of contact with regulatory bodies Work across Compliance and key cross functional teams to ensure direct regulatory requirements are sufficiently addressed through compliance programs, product solutions or new operational builds Support governance efforts on behalf of Mercury’s Compliance organization including monitoring ongoing compliance and establishing mechanisms for reporting on entity compliance health Support the Compliance function in defining and achieving departmental initiatives, maintaining product support playbooks and best practices, developing and documenting scalable solutions, and liaising with external parties Contribute to building a strong culture of compliance across Mercury’s teams Qualifications
8+ years of experience working in securities compliance role, ideally at a financial technology company, brokerage, or asset manager FINRA Series 24 license; additional licenses helpful but not required Extensive experience with FINRA and SEC regulations on RIAs (Registered Investment Advisor) and BDs (Broker-Dealer) Familiarity with state level financial services licensing requirements - e.g. Money Transmission, Loan Originations, Loan Brokering, Loan Servicing Experience building regulatory functions from the ground up Comfort in driving strategy and planning for the function autonomously Exposure to executive-level stakeholders, including experience reporting to leadership on the status of compliance programs and regulatory relationships Compensation & Benefits
The total rewards package at Mercury includes base salary, equity, and benefits. Our salary and equity ranges are highly competitive within the SaaS and fintech industry and are updated regularly using the most reliable compensation survey data for our industry. New hire offers are made based on a candidate’s experience, expertise, geographic location, and internal pay equity relative to peers. Our target new hire base salary ranges for this role are the following: US employees in New York City, Los Angeles, Seattle, or the San Francisco Bay Area: $219,800 - $274,700 US employees outside of New York City, Los Angeles, Seattle, or the San Francisco Bay Area: $197,800 - $247,200 Equal Employment Opportunity
Mercury values diversity & belonging and is proud to be an Equal Employment Opportunity employer. All individuals seeking employment at Mercury are considered without regard to race, color, religion, national origin, age, sex, marital status, ancestry, physical or mental disability, veteran status, gender identity, sexual orientation, or any other legally protected characteristic. We are committed to providing reasonable accommodations throughout the recruitment process for applicants with disabilities or special needs. If you need assistance, or an accommodation, please let your recruiter know once you are contacted about a role.
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Mercury is hiring a Compliance leader to scale our licensed activity and deepen engagement with regulators. In this role, you’ll lead our Securities Compliance team, overseeing our RIA and Broker-Dealer compliance programs, guiding strategy for future licensing needs, and designing governance structures to ensure Mercury’s role in the financial system remains trusted and resilient. You’ll work with product and legal teams to turn regulatory obligations into durable infrastructure while maintaining clarity in a fast-moving space. Responsibilities
Mature our foundational program to manage all of Mercury’s direct regulatory and license obligations, and continually assess our compliance posture in advance of new licensing needs Supervise employees working on investment-related product offerings and ensure compliance across regulated entities (e.g. RIA, Broker-Dealer, Loan Brokering, Loan Servicing) Manage examinations/audits (internal and external) or other regulatory inquiries related to licensed activity, including serving as primary point of contact with regulatory bodies Work across Compliance and key cross functional teams to ensure direct regulatory requirements are sufficiently addressed through compliance programs, product solutions or new operational builds Support governance efforts on behalf of Mercury’s Compliance organization including monitoring ongoing compliance and establishing mechanisms for reporting on entity compliance health Support the Compliance function in defining and achieving departmental initiatives, maintaining product support playbooks and best practices, developing and documenting scalable solutions, and liaising with external parties Contribute to building a strong culture of compliance across Mercury’s teams Qualifications
8+ years of experience working in securities compliance role, ideally at a financial technology company, brokerage, or asset manager FINRA Series 24 license; additional licenses helpful but not required Extensive experience with FINRA and SEC regulations on RIAs (Registered Investment Advisor) and BDs (Broker-Dealer) Familiarity with state level financial services licensing requirements - e.g. Money Transmission, Loan Originations, Loan Brokering, Loan Servicing Experience building regulatory functions from the ground up Comfort in driving strategy and planning for the function autonomously Exposure to executive-level stakeholders, including experience reporting to leadership on the status of compliance programs and regulatory relationships Compensation & Benefits
The total rewards package at Mercury includes base salary, equity, and benefits. Our salary and equity ranges are highly competitive within the SaaS and fintech industry and are updated regularly using the most reliable compensation survey data for our industry. New hire offers are made based on a candidate’s experience, expertise, geographic location, and internal pay equity relative to peers. Our target new hire base salary ranges for this role are the following: US employees in New York City, Los Angeles, Seattle, or the San Francisco Bay Area: $219,800 - $274,700 US employees outside of New York City, Los Angeles, Seattle, or the San Francisco Bay Area: $197,800 - $247,200 Equal Employment Opportunity
Mercury values diversity & belonging and is proud to be an Equal Employment Opportunity employer. All individuals seeking employment at Mercury are considered without regard to race, color, religion, national origin, age, sex, marital status, ancestry, physical or mental disability, veteran status, gender identity, sexual orientation, or any other legally protected characteristic. We are committed to providing reasonable accommodations throughout the recruitment process for applicants with disabilities or special needs. If you need assistance, or an accommodation, please let your recruiter know once you are contacted about a role.
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